RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
T••••• V•••••• A•••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Feb 24, 2014 · Waltham, Ma
- C••••••• S••••••••• I••• BD affiliatedJan 11, 2012 to Jan 27, 2014 · Wellesley, Ma
- E•••••••• A•••••••• L•• national BDJun 19, 2007 to Jan 12, 2012 · Wellesley, Ma
- C••••••• S••••••••• I••• to O••••••••• S••••••••• I•••left Jan 27, 2014, registered Feb 24, 2014 (28 days) · Other
- E•••••••• A•••••••• L•• to C••••••• S••••••••• I•••left Jan 12, 2012, registered Jan 11, 2012 (-1 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address